ASTI » Topics » Item 9.01 Financial Statements and Exhibits.

This excerpt taken from the ASTI 8-K filed Sep 23, 2009.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits:

 

Exhibit No.

 

Description

10.1   Photovoltaic Module Supply Agreement by and between the Registrant and TurtleEnergy LLCCTR
99.1   Press Release announcing Photovoltaic Module Supply Agreement with TurtleEnergy

 

CTR

Portions of this exhibit have been omitted pursuant to a request for confidential treatment.

Forward Looking Statements

This Current Report on Form 8-K, including its exhibits, contains forward-looking statements. Forward-looking statements typically are identified by use of terms such as “may,” “will,” “should,” “plan,” “expect,” “anticipate,” “intend,” “estimate” and similar words, although some forward-looking statements are expressed differently. Forward-looking statements represent our management’s judgment regarding future events. Although the Registrant believes that the expectations reflected in such forward-looking statements are reasonable, the Registrant can give no assurance that such expectations will prove to be correct. All statements other than statements of historical fact included in this Current Report on Form 8-K are forward-looking statements. The Registrant cannot guarantee the accuracy of the forward-looking statements, and you should be aware that the Registrant’s actual results could differ materially from those contained in the forward-looking statements due to a number of factors, including the statements under “Risk Factors” contained in the Registrant’s Annual Report on Form 10-K filed with the Securities and Exchange Commission.


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  ASCENT SOLAR TECHNOLOGIES, INC.
September 23, 2009   By:  

/s/    Gary Gatchell

  Name:   Gary Gatchell
  Title:   Chief Financial Officer and Secretary
This excerpt taken from the ASTI 8-K filed Jul 22, 2009.

Item 9.01 Financial Statements and Exhibits.

 

(d) Exhibits

 

99.1 Executive Employment Agreement with Prem Nath dated as of July 15, 2009.

 

Forward Looking Statements

 

This Current Report on Form 8-K, including its exhibits, contains forward-looking statements. Forward-looking statements typically are identified by use of terms such as “may,” “will,” “should,” “plan,” “expect,” “anticipate,” “intend,” “estimate” and similar words, although some forward-looking statements are expressed differently. Forward-looking statements represent our management’s judgment regarding future events. Although the Company believes that the expectations reflected in such forward-looking statements are reasonable, the Company can give no assurance that such expectations will prove to be correct. All statements other than statements of historical fact included in this Current Report on Form 8-K are forward-looking statements. The Company cannot guarantee the accuracy of the forward-looking statements, and you should be aware that the Company’s actual results could differ materially from those contained in the forward-looking statements due to a number of factors, including the statements under “Risk Factors” contained in the Company’s Annual Report on Form 10-K filed with the Securities and Exchange Commission.

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

ASCENT SOLAR TECHNOLOGIES, INC.

 

 

 

July 21, 2009

By:

/s/ Gary Gatchell

 

 

 

 

 

Name: Gary Gatchell

 

 

Title: Chief Financial Officer and Secretary

 

2


This excerpt taken from the ASTI 8-K filed Jul 14, 2009.

Item 9.01 Financial Statements and Exhibits.

 

(d) Exhibits

 

99.1 Executive Employment Agreement with Farhad Moghadam dated as of July 10, 2009.

 

Forward Looking Statements

 

This Current Report on Form 8-K, including its exhibits, contains forward-looking statements. Forward-looking statements typically are identified by use of terms such as “may,” “will,” “should,” “plan,” “expect,” “anticipate,” “intend,” “estimate” and similar words, although some forward-looking statements are expressed differently. Forward-looking statements represent our management’s judgment regarding future events. Although the Company believes that the expectations reflected in such forward-looking statements are reasonable, the Company can give no assurance that such expectations will prove to be correct. All statements other than statements of historical fact included in this Current Report on Form 8-K are forward-looking statements. The Company cannot guarantee the accuracy of the forward-looking statements, and you should be aware that the Company’s actual results could differ materially from those contained in the forward-looking statements due to a number of factors, including the

 

2



 

statements under “Risk Factors” contained in the Company’s Annual Report on Form 10-K filed with the Securities and Exchange Commission.

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

ASCENT SOLAR TECHNOLOGIES, INC.

 

 

 

July 13, 2009

By:

/s/ Gary Gatchell

 

 

 

 

 

Name: Gary Gatchell

 

 

Title: Chief Financial Officer and Secretary

 

3


This excerpt taken from the ASTI 8-K filed Feb 17, 2009.

Item 9.01 Financial Statements and Exhibits

 

(d)                                 Exhibits

 

3.2                                 Second Amended and Restated Bylaws.

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

 

ASCENT SOLAR TECHNOLOGIES, INC.

 

 

February 17, 2009

By:

/s/ GARY GATCHELL

 

 

 

 

 

Name: Gary Gatchell

 

 

Title: Chief Financial Officer

 

2


This excerpt taken from the ASTI 8-K filed Oct 17, 2008.

Item 9.01  Financial Statements and Exhibits.

 

(d)  Exhibits

 

99.1  Press release titled “Ascent Solar Provides Update for Expansion Plans”

 

Forward Looking Statements

 

This Current Report on Form 8-K, including its exhibits, contains forward-looking statements. Forward-looking statements typically are identified by use of terms such as “may,” “will,” “should,” “plan,” “expect,” “anticipate,” “intend,” “estimate” and similar words, although some forward-looking statements are expressed differently. Forward-looking statements represent our management’s judgment regarding future events. Although Ascent Solar believes that the expectations reflected in such forward-looking statements are reasonable, Ascent Solar can give no assurance that such expectations will prove to be correct. All statements other than statements of historical fact included in this Current Report on Form 8-K are forward-looking statements. Ascent Solar cannot guarantee the accuracy of the forward-looking statements, and you should be aware that Ascent Solar’s actual results could differ materially from those contained in the forward-looking statements due to a number of factors, including the statements under “Risk Factors” contained in Ascent Solar’s Annual Report on Form 10-K filed with the Securities and Exchange Commission.

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

ASCENT SOLAR TECHNOLOGIES, INC.

 

 

October 17, 2008

By:

/s/ Gary Gatchell

 

 

 

 

 

Name: Gary Gatchell

 

 

Title: Chief Financial Officer

 

2


This excerpt taken from the ASTI 8-K filed Oct 8, 2008.

Item 9.01 Financial Statements and Exhibits.

 

(d) Exhibits

 

99.1         Securities Purchase Agreement dated as of March 13, 2007 (incorporated by reference to Exhibit 99.1 of the current report on Form 8-K filed March 13, 2007)

 

99.2         Stockholders’ Agreement dated as of March 13, 2007 (incorporated by reference to Exhibit 99.2 of the current report on Form 8-K filed March 13, 2007)

 

99.3         Registration Rights Agreement dated as of March 13, 2007 (incorporated by reference to Exhibit 99.3 of the current report on Form 8-K filed March 13, 2007)

 

99.4         Amendment No. 1 to Securities Purchase Agreement (incorporated by reference to Exhibit 10.41 of the annual report on Form 10-K filed March 14, 2008)

 

Forward Looking Statements

 

This Current Report on Form 8-K, including its exhibits, contains forward-looking statements made pursuant to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. Forward-looking statements typically are identified by use of terms such as “may,” “will,” “should,” “plan,” “expect,” “anticipate,” “intend,” “estimate” and similar words, although some forward-looking statements are expressed differently. Forward-looking statements represent our management’s judgment regarding future events. Although the Company believes that the expectations reflected in such forward-looking statements are reasonable, the Company can give no assurance that such expectations will prove to be correct. All statements other than statements of historical fact included in this Current Report on Form 8-K are forward-looking statements. The Company cannot guarantee the accuracy of the forward-looking statements, and you should be aware that the Company’s actual results could differ materially from those contained in the forward-looking statements due to a number of factors, including the statements under “Risk Factors” contained in the Company’s Annual Report on Form 10-K filed with the Securities and Exchange Commission.

 

2



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

ASCENT SOLAR TECHNOLOGIES, INC.

 

 

October 8, 2008

By:

/s/ Gary Gatchell

 

 

Name: Gary Gatchell

 

 

Title: Chief Financial Officer

 

3


This excerpt taken from the ASTI 8-K filed Jul 2, 2008.

Item 9.01  Financial Statements and Exhibits.

 

(d) Exhibits

 

99.1   Press release entitled “Ascent Solar Technologies Announces Results of Annual Meeting of Shareholders

 

The information contained in this Current Report is being furnished and shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that Section.  Such information shall not be incorporated by reference into any registration statement or other document pursuant to the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such filing.

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

ASCENT SOLAR TECHNOLOGIES, INC.

 

 

 

July 1, 2008

By:

/s/ Matthew B. Foster

 

 

Name: Matthew B. Foster

 

 

Title: President and Chief Executive Officer

 

2


This excerpt taken from the ASTI 8-K filed May 20, 2008.

Item 9.01 Financial Statements and Exhibits.

 

(d) Exhibits

 

99.1   Press release entitled “Ascent Solar Announces Exercise of Over-Allotment Option”

 

The information contained in this Current Report is being furnished and shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that Section.  Such information shall not be incorporated by reference into any registration statement or other document pursuant to the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such filing.

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

ASCENT SOLAR TECHNOLOGIES, INC.

 

 

May 20, 2008

By:

/s/ Matthew B. Foster

 

 

Name: Matthew B. Foster

 

 

Title: President & CEO

 

2


This excerpt taken from the ASTI 8-K filed May 16, 2008.

Item 9.01  Financial Statements and Exhibits.

 

(d) Exhibits

 

99.1   Press release entitled “Ascent Solar Announces Pricing of Public Offering of Common Stock”

 

The information contained in this Current Report is being furnished and shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that Section.  Such information shall not be incorporated by reference into any registration statement or other document pursuant to the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such filing.

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

ASCENT SOLAR TECHNOLOGIES, INC.

 

 

 

May 16, 2008

By:

/s/ Matthew B. Foster

 

 

Name: Matthew B. Foster

 

 

Title: President & CEO

 

2


This excerpt taken from the ASTI 8-K filed Mar 31, 2008.

Item 9.01 Financial Statements and Exhibits.

 

(d) Exhibits

 

99.1 Executive Employment Agreement with Gary Gatchell dated as of March 31, 2008.

99.2 Press release entitled “Ascent Solar Appoints Chief Financial Officer,” dated March 31, 2008.

 

Forward Looking Statements

 

This Current Report on Form 8-K, including its exhibits, contains forward-looking statements. Forward-looking statements typically are identified by use of terms such as “may,” “will,” “should,” “plan,” “expect,” “anticipate,” “intend,” “estimate” and similar words, although some forward-looking statements are expressed differently. Forward-looking statements represent our management’s judgment regarding future events. Although the Company believes that the expectations reflected in such forward-looking statements are reasonable, the Company can give no assurance that such expectations will prove to be correct. All statements other than statements of historical fact included in this Current Report on Form 8-K are forward-looking statements. The Company cannot guarantee the accuracy of the forward-looking statements, and you should be aware that the Company’s actual results could differ materially from those contained in the forward-looking statements due to a number of factors, including the statements under “Risk Factors” contained in the Company’s Annual Report on Form 10-K filed with the Securities and Exchange Commission.

 

2



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

 

 

ASCENT SOLAR TECHNOLOGIES, INC.

 

 

March 31, 2008

By:

/s/ Matthew B. Foster

 

 

 

 

 

Name: Matthew B. Foster

 

 

Title: President and CEO

 

3


This excerpt taken from the ASTI 8-K filed Mar 27, 2008.

Item 9.01 Financial Statements and Exhibits.

 

(d) Exhibits

 

99.1         Securities Purchase Agreement dated as of March 13, 2007 (incorporated by reference to Exhibit 99.1 of the current report on Form 8-K filed March 13, 2007)

 

99.2         Stockholders’ Agreement dated as of March 13, 2007 (incorporated by reference to Exhibit 99.2 of the current report on Form 8-K filed March 13, 2007)

 

99.3         Registration Rights Agreement dated as of March 13, 2007 (incorporated by reference to Exhibit 99.3 of the current report on Form 8-K filed March 13, 2007)

 

99.4         Press Release titled “Hydro Increases Stake to 35% in Ascent Solar”

 

99.5         Amendment No. 1 to Securities Purchase Agreement (incorporated by reference to Exhibit 10.41 of the annual report on Form 10-K filed March 14, 2008)

 

Forward Looking Statements

 

This Current Report on Form 8-K, including its exhibits, contains forward-looking statements made pursuant to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. Forward-looking statements typically are identified by use of terms such as “may,” “will,” “should,” “plan,” “expect,” “anticipate,” “intend,” “estimate” and similar words, although some forward-looking statements are expressed differently. Forward-looking statements represent our management’s judgment regarding future events. Although the Company believes that the expectations reflected in such forward-looking statements are reasonable, the Company can give no assurance that such expectations will prove to be correct. All statements other than statements of historical fact included in this Current Report on Form 8-K are forward-looking statements. The Company cannot guarantee the accuracy of the forward-looking statements, and you should be aware that the Company’s actual results could differ materially from those contained in the forward-looking statements due to a number of factors, including the statements under “Risk Factors” contained in the Company’s Annual Report on Form 10-K filed with the Securities and Exchange Commission.

 

2



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

ASCENT SOLAR TECHNOLOGIES, INC.

 

 

 

March 27, 2008

By:

/s/ Matthew B. Foster

 

 

Name: Matthew B. Foster

 

 

Title: President & CEO

 

3


This excerpt taken from the ASTI 8-K filed Feb 28, 2008.

Item 9.01  Financial Statements and Exhibits

 

(d)           Exhibits

 

99.1                           Press Release dated February 28, 2008.

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

ASCENT SOLAR TECHNOLOGIES, INC.

 

 

 

February 28, 2008

By:

/s/ Matthew B. Foster

 

 

 

 

Name:

Matthew B. Foster

 

Title:

President and CEO

 

2


This excerpt taken from the ASTI 8-K filed Feb 12, 2008.

Item 9.01  Financial Statements and Exhibits

 

(d)           Exhibits

 

99.1                           Press Release dated February 11, 2008.

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

ASCENT SOLAR TECHNOLOGIES, INC.

 

 

 

February 11, 2008

By:

/s/ Matthew B. Foster

 

 

 

 

 

Name: Matthew B. Foster

 

 

Title: President and CEO

 

 

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